Broadway Financial insider reports 16,317 shares

Broadway Financial Corporation reports that executive Brian Francis Wagner, EVP and Chief HR Officer, beneficially owns 16,317 shares of common stock.

Accepted by SEC EDGAR 08/03/2026 - 05:08 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Broadway Financial Corporation reports that executive Brian Francis Wagner, EVP and Chief HR Officer, beneficially owns 16,317 shares of common stock. All 16,317 shares are restricted stock subject to vesting under the Broadway Financial Corporation Amended and Restated 2018 Long-Term Incentive Plan effective April 16, 2023.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Wagner Brian Francis

Role EVP, Chief HR Officer

Type	Security	Shares	Price	Value
Holding	Common Stock F1	--	--	--

Holdings: Common Stock — 16,317 shares (Direct)

Footnotes (1)

1. F1. Includes 16,317 shares of restricted stock subject to vesting in accordance with the Broadway Financial Corporation Amended and Restated 2018 Long-Term Incentive Plan effective April 16, 2023.

Key Figures

Beneficial ownership: 16,317 shares Restricted stock subject to vesting: 16,317 shares Plan effective date: April 16, 2023

3 metrics

Beneficial ownership 16,317 shares Common Stock held by EVP and Chief HR Officer Brian Francis Wagner

Restricted stock subject to vesting 16,317 shares Shares of restricted stock under the Amended and Restated 2018 Long-Term Incentive Plan

Plan effective date April 16, 2023 Effective date of Broadway Financial Corporation Amended and Restated 2018 Long-Term Incentive Plan

Key Terms

restricted stock, vesting, Long-Term Incentive Plan

3 terms

restricted stock financial

"Includes 16,317 shares of restricted stock subject to vesting"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

vesting financial

"restricted stock subject to vesting in accordance with the Broadway"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

Long-Term Incentive Plan financial

"the Broadway Financial Corporation Amended and Restated 2018 Long-Term Incentive Plan"

A long-term incentive plan is a company program that pays executives or employees with stock, options, or cash tied to multi-year performance goals, where the rewards become theirs only after meeting conditions over time. Think of it as a delayed bonus or retirement-style reward that aligns employees’ interests with shareholders by encouraging them to boost long-term value; investors watch these plans because they affect pay costs, share dilution and management incentives.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the BYFC Form 3 show about Brian Francis Wagner’s ownership?

It shows that Brian Francis Wagner, EVP and Chief HR Officer, beneficially owns 16,317 shares of Broadway Financial common stock. All of these shares are classified as restricted stock subject to future vesting conditions under a long-term incentive plan.

How many Broadway Financial (BYFC) shares does Brian Francis Wagner own?

Brian Francis Wagner is reported as beneficially owning 16,317 shares of Broadway Financial common stock. The entire 16,317-share position consists of restricted stock rather than fully vested, unrestricted shares.

Are Brian Francis Wagner’s BYFC shares restricted or fully vested?

All of Wagner’s reported BYFC holdings are restricted stock subject to vesting. The footnote explains that the 16,317 shares will vest in accordance with the company’s Amended and Restated 2018 Long-Term Incentive Plan.

Under which plan were Brian Francis Wagner’s BYFC restricted shares granted?

The 16,317 restricted shares are subject to vesting under the Broadway Financial Corporation Amended and Restated 2018 Long-Term Incentive Plan. This plan is stated to be effective as of April 16, 2023 for these awards.

Does the BYFC Form 3 report any recent stock purchases or sales by Wagner?

No purchases or sales are reported; the Form 3 lists holdings only. The data show one holding entry for 16,317 restricted shares of common stock, with no buy or sell transaction codes indicated.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Wagner Brian Francis

(Last) (First) (Middle)

1432 U STREET, NW

(Street)

WASHINGTON DISTRICT OF COLUMBIA 20009

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
07/22/2026

3. Issuer Name and Ticker or Trading Symbol
BROADWAY FINANCIAL CORP \DE\ [ BYFC ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP, Chief HR Officer

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	16,317(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Includes 16,317 shares of restricted stock subject to vesting in accordance with the Broadway Financial Corporation Amended and Restated 2018 Long-Term Incentive Plan effective April 16, 2023.

Remarks:

Exhibit 24: Power of Attorney

	/s/ Audrey Phillips, Attorney-in-Fact	08/03/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)